Concept Design for a Web-based Supervisory Control and Data-Acquisition (SCADA) System Duo Li, Yoshizumi Serizawa, Senior Member, IEEE, and Mai Kiuchi Abstract — Rapily advancing hardware and software technologies have made it possible to develop a new generation of Sepervisory Control and Data Acquisition (SCADA) system. The Webshased SCADA system described here consist of itligent RTUs, each of which has a modularied hardware architecture and supports HTTP protocol, and a distributed master station, which hae a Web serverPbrowser structure and decomposes the SCADA function inte molipe sets of Web site components. Both the hardware design and software development for this Web- ‘based SCADA system have been carrled out in accordance with wellproven architecture meduls, allowing the system to benefit, from numerous avallable technologies and. giving Mt added ‘exblity and seatbiity. ‘Keywords ~ Boergy Management System (EMS), Web ste, ‘Supervisory Control and. Data-Acqulsian (SCADA) System, ‘emote Terminal Unit (TU), Intelligent Electronic Device (TED) 1. Exrnopucrion ‘As one of the most important parts in an Energy Management System (EMS), a SCADA (Supervisory Control and Data-Acquistion) system consists of a supervisory control subsystem, which supports operator contol of remote (or local) equipment with security features, and a data-acquistion subsystem, which gathers data from various sources such as remote terminal units (RTU) installed in substations, and shares these data with all other subsystems within the EMS. ‘The architecture of « SCADA systom changed with the philosophy of computing in organizations, from mainframe- dominated, cenualized computing systems 10 network-based distributed computing i the eatly 1990s (1). Great progress in computer and communications technologies has lead to the innovation in SCADA. system: in particular, the widespread availability of Tnlemet technology provides a fundamental ‘Suppor for developers in their approach toa new generation of SCADA system, Many researchers have applied Intemevintranet technologies to the improvement of certain functions in a SCADA system, eg,, a Web-based SCADA display system in [2], and in other aspects of power system, eg, a Web-based ‘power quality monitoring system in (3) and an Intermet-based Trequency monitoring. network in [4]. The application of Internet technologies in these researches allows free and SAT vad Ki nse si Flyo 2018510 JAPAN 0-7803-7525-4102/817.00 © 2002 IEEE, flexible acquisition of power system information and ‘equipment sensor data at remote locations, which forms the basis of future Intemet based power system information networks [5] and adds expansibilty tthe implementations of such functions as data display, information sharing, condition monitoring, et. na power system, “The application of InlemeVintranet technologies to SCADA. system is also helpful in basing system design on industrial standards, eg, the research in [6], in which an advanced data acquisition sub-system was developed with an open architecture supporting ICP ltercontrol Center Communication Protocol, known as IEC 870-6), and in reducing system complexity especially in software programs, eg, the research in [7], in which viral instruments were imtegrated with the Internet to develop an industrial SCADA system, and virtual instruments consisting of well building software blocks developed using LabVIEW (Laboratory View Instrument Engineering Workbench). All Inerevintranet based SCADA systems face the issues of realtime performance and reliably of supervisory conto, which is ‘concemed by the Inrane-based SCADA system developed in [8 and solved by use of middleware ‘This paper regards the whole SCADA system as a Web- based application, decomposes each piece of application Software into a set of Web site components, and outlines the design of both supervisory control subsystem and dala sequisition subsystem based on the established three-tier services layer model, which adds more Mesibilty and Scalability wo the system and allows the system to benefit rom all available Intemet technologies, eg. open system architecture, standard communication’ protocol and. mature application modules. In this paper we describe the concept design for a Web-based SCADA system including the design for an intelligent RTU that is implemented using modern IED technology and supporting HTTP protocol, andthe design for distibuted SCADA” master” staion with a Web serverfbrowser structure ‘The remainder of this paper is organized as follows. Section and IML compose main part of the paper ~ the former focusing on implementation of an intelligent RTU, and the latter on a eoncept design for a Web-based SCADA system. “Two samples of implementing SCADA functions ae shown in Section TV. Section V forwards the design 1o a Web-based EMS and Section VI provides a conclusion. 2TL, IMPLEMENTATION OF AN INTELLIGENT REMOTE ‘TERMINAL UNIT SUPPORTING HTTP PROTOCOL. ‘A Remote Terminal Unit (RTU) is responsible for collecting field data, and plays an important role in a SCADA system, Main components of the RTU include analog-o-digital converters (ADC), digitalto-analog converters (DAC), digital ‘inputs (status) and outputs (control). An intelligent RTU could bbe implemented with reference to Intelligent Electonic Devices (IEDs) currently being. developed for the next ‘generation of power system, such as Toshiba's NCT (Network ‘Computing Terminal) 2000. By applying Inert technologies and implementing Web server functions in itself, a NCT 2000 may be applied to ‘various applications... remote operation and maintenance, fault location and distributed analysis, where the NCT 2000 works as an intelligent data terminal in substations and delivers various types of raw data outside the substation via Inermevintranet(9.10,11]. The core of the NCT 2000 is a NCU (Network Computing Unit). As shown in Fig. 1, the INCU hs @ dual 32bit RISC processor architecture: @ Java virtual machine (Java VM) operates in one processor, while a real-time data intrfce function withthe protection or control ‘equipment operates in the other processor, The NCU provides. [Ethernet and RS232C serial interfaces asthe communication interface and allows the implementation of the HyperText ‘Transfer Protocol (HTTP) based on TCPAP. [=a ae ee ‘ip Ras sofware cheat ofa Newark Comping Uni (NCU) Fig. 2 shows the concept design for use of a NCU in an intelligent RTU, where a VME bus connect the analog input unit (AL) that acquires the quantity of electricity ofthe power system, the digital input unit (DI) that feiches apparatus information, the digital ouput unit (DO) that outputs a trip command, and the NCU that interfaces with the Inerevintranet. An intelligent RTU provides functions iflerent 10 those of the NCT 2000 in that a RTU works passively as a client side device to collect field data for a SCADA system and has no Web server functions Benefiting from the advanced hardware and. software architecture ofthe NCU, a intelligent RTU has a modlarized hardware architecture, provides a standard interface 10 an Tmemevnanet, and supports an open communication protocol — HTTP, which makes it easier (© apply to a Web- 3 based SCADA system, Dotnet panna TIL CONCEPT DESIGN FOR A WEB-BASED SCADA SYSTEM, The architecture of a Web-hased SCADA system is showin in Fig. 3: master stations of host computers in a traditional SCADA system are implemented based on Web browsers, ‘WebvApplication servers and a database server, while the Intelligent RTUs implemented in Section I are connected to ‘WebvApplicaion servers though the InterneVInranet. master statons host computers Remote Terminal ‘Unie aa ‘One feature of a Web-based SCADA system is that the software programs run on normal host staionscomputers are replaced with Web-based applications curently widely distributed over an Intranet oF the entire Internet (World Wide Web). In adgiion, Web-based applications run across Web browsers and Web servers, inherit basie features from traditional client-server applications, and enhance them considerably with thie distributed, sealable and modulaizedarchitecture, Internet technologies have brought great advances in Web- based applications [12]. To support new generation Web- ‘based applications, updated Web servers have extended their functions from static content ~ HTML page that has embedded fraphics, sound files, and other basic features, to dyna ‘enient that is based on server-side extensions, such as Ct (Common Gateway Interface), ASP (Active Server Page), and database integration, and to integration with other enterprise services, such as transaction support. Optimally, these Web- based applications can be developed in popular programming languages and can make use ofthe existing object technologies and services for the platform, Meanwhile, Web browsers have 0 evolved to support new technologies and capabilities, ‘which include supporting client-side active components, such as Java applets, ActiveX controls, integrating. with XML (eXtensible Markup Language), “Dyeamic HTML and scripts, et. With these mature technologies, itis possible to implement a complex software program in an ordinary SCADA system a5, 14 Websbased application consisting of a set of components hosted by a Web server, such as ASP file, HTML file, COM (Component Object Model) component, applet, ete, and starting from the logon of a Web browser on which the HML (Human Machine Interface) of the application is shown and related operations carried out, Benefiting from the well proven modularized architecture of a Web-applicaion, all SCADA system functions such as data acquisition, supervisory conto and alarm display and control, could be decomposed into ‘extremely independent and efficient components, or sofware modules, eg, development of an applet to make operators comply with a select-verfy-exccute procedure during an ‘operation, use of an ASP file to reply 0 request from RTUs and save data to a database, a COM component taking charge ‘of sending a command to a RTU, ete, When master stations oF fost computers of a Web-based SCADA. ‘tyslem ire implemented based on Web/Application servers, as shown in Fig. 3, they provide an open interface to all other devices oF sub-systems based on the HTTP protocol. An intelligent RTU, such as that implemented in Section TI, could use the HTTP dats package to communicate with the servers and work in a Similar way to Web browsers, an example of whichis showa in Section IV, ‘A Web-based SCADA system has an inherited testi client server architecture, which has been proven flexible oF ‘scalable enough to handle many larger applications and used in most Web-based applications, Fig. 4 shows a Web-based SCADA system from the view point of a three-tier architecture, i which RTUs and Web browsers locate in the client services layer that provides an interface to other applications or operators; WebiApplication servers locate the application services layer that realizes all application ‘programs, and a database server locates in the data services layer that provides storage and low-level manipulation of data inthe database. A servies-layer architecture of this (ype has numerous advantages, such as "© Clear and consistent development goals. The functionality of each service, which is implemented ‘through a set of components, is clearly defined ‘= Better manageability. Because services divide the Functionality of a Websbased SCADA system into distinct tasks, any changes inthe implementation of one component will not introduce changes to another service component. « Isolation of functionality. The functionality of specific service is encapsulated, so any error in the implementation of a service can be easily traced 10 the corresponding ‘component. & a55 |e Ss ema | — Fig Tacos areitesure of Web-based SCADA esem ‘The Websbased SCADA approach distributed on a Web site brings with it numerous safety and security issues, which are able to be solved with proven tools, such as tools integrated with Windows 2000 Server's Access Contol Secutty. For ‘example, Microsoft IIS (Intemet Information Services) have & builtin security, which satisfies 2 kinds of required security — verification of user identity and controlled access to resources Using the builtin security we can determine who can access a Web server, or a master station in a SCADA system, what ‘components a user can access, and what type ofaceess rights = read, write, of exocute ~ the user has to each. Therefore a ‘Web-based SCADA system can operate securely ‘Another problem with a Web-based SCADA system i real- time operations. This could be solved using research on re time extension of a general operation system, such a8 VenturCom’s RTX 5.1 [13], which enables "Windows NTP2000/XP to address the real-time developmentIV, EXAMPLES OF IMPLEMENTING SCADA System FUNCTIONS ‘A Web-based SCADA system wil provide the same eiical fonctions as a traditional SCADA system. However, these functions are implemented through several separate sets of Web ste components instead of integrated software programs. Following two sample implementations, which perform two, fundamental SCADA functions ~ real-time data monitor and sm data display and control, let us show how 2 SCADA function is implemented through a set of Website components. ‘The firs example, as shown in Fig.S, implements the function of a realtime data monitor providing periodically ‘updated data to operators, The target data saved in a database server is marked and mapped to an HTML file say file2, in a Web server, ic. the database server automatically refreshes file? with the latest data whenever the target data in the server is updated. To show target data in an HTML file an applet is developed. that connects 10 file2 to get the latest data periodically and display dhem in a required format. Another HTML file, say fill, in which the applet is included, is developed to establish a basic human-machine interface and ‘complete some initiations. Data monitor functions commence from a Web browser sending an HTTP GET command to the Web server, which asks for fel. filet is then fetched to the browser and displayed, and the applet is downloaded to run to show the target data Web browser e. | The second example, as shown in Fig6, implements the fanetion of alarm data display and contol, which samples field aia periodically, processes them, and automatically deals with related operations according to the data. As the core of a data- acquisition subsystem, intelligent RTUs periodically collect field data and send these data to a Web/Application server, ‘hich provides an open interface tall client side devices ‘hough a set of ASP file. The intelligent RTU implemented in Section I holds a Java platform and supports the HTTP protocol, which makes it possible wo implement a Java program based on the Java package HTTPClient developed by Ronald Tschalir (14) to run similarly 19 a Web browser ‘Through the HTTPClient package the Java program can pack 35 collected data as parameters in an HTTP POST command and send it to the desired ASP file; the later will receive the command, parse the data, and save them into a database. A COM component is developed to automatically verity the ‘elated data im the database by running some rules. If finds something is outside of a rule, the COM component vil ‘update an HTML file used to show information periodically 10 ‘operators through an applet in a similar way to file? in the previous extmple, and send coresponding commands t0 the RTU as well Remote Terminal Unit Fi 6 tnpemenaton of arm ala and contol ‘The above examples are implemented on three computers and checked to satisfy the target functions. The Web server is hosted by a computer running a Windows 2000 server with Intemet Information (HS) and a SQL (Structure ‘Query Language) Server, and the Web browser runs on ‘another computer. The third computer is used to imitate an inelligent RTU, on which a Java program working as an imitation Web browser is developed to send data 10 and ‘ecuive commands from the Web server. ‘The results show that an application program in & normal SCADA system could be decomposed into a set of Web components, which makes it simple to implement a Web-based SCADA system step by sep and also convenient t9 maintain and update special applications. \V. TOWARDS A WEB-BASED ENERGY MANAGEMENT Syste (EMS) Expanding Web-based architecture from a SCADA system to other subsystems in an Energy Management System (EMS), such as the information subsystem and the application subsystem, a Web-based EMS is established, as show in Fig. Similarly, a Web-based EMS also has an open ‘modularized architecture and more flexibility and scalability. Furthermore, it is a convenient way of sharing data among subsystems ina Web-based EMS, and integrating all subsystems.VL. Concusion ‘This paper presems a concept design for a Websbased SCADA system utilizing all available Intemet technologies. Since hoth the hardware design and the souware vevelopment have been carried ut in accordance with welk-proven architecture modules, a Web-based SCADA system has more Aexbilty and scalability than any of its previous counterpart Future researches will include implementing SCADA applications with Web site components, and basing the research on realtime extension of a general-purpose operation system, Suporiony pepicaton ‘Step Stbojton 7 Archie ofs Web-tmed EMS VIL. REFERENCES “T£ Dy Lia, "Maem Cito Celera Copter Nek TELE Computer Agpeatine in Power Vol M198 p23. (Ow 8, Goo Hy “Webbased SCADA dply sytem (WSS) for ‘cue vn ere EEE was. Power Som Vol 152, May 20, pp t6 Ei VC Ch. 1 Te “A Wet Pover Quy Gu hon. 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Syston bas ute Telanbgy— (Cocepand Bate Arter CEE 20008201 121 Teen, own ad Nel. Web Aen Dope 113) RISA avulbiece Iie comosvindowsenblatinn fenaep (04) Ronis Tacha, HTPC Veron 03:3, aablecn psn snot hans FTPChend VIN. BiocRarnnes. uo Li recived the BE. ME_ and DE. cers in mica sence and pecnng from Tings Univer Being, PR Chea i 1984, 1996 3d 1998, renpecvely. Pom Oxt 20 Sop 2002 he wens sb a STASlnce nd Tecnaingy Asai) fellow athe Cont Research Inet of "hse Power lnduay(CRIEPY wre Dhan ngage searches ‘en aptianon feet eholopes 0 ponerse scommneston. ‘Yoshimi Sereawa (M °97, SM 99) recived the BE. ME. and DE 1978, 1980 and 19%, resent 1980 he joe te Coed Reseach Trstte of Blete PowerIngiary (CRIE) ic work hat eon it Commun, eo ad pon cf be ce oe Infematon Rese Labortr of CRIEPI and embas fTES an IEICE. Mai Kiuci resid the BE. ad ME. dei in lest and elestons Cassin the Une of Teo og, an 197 sn 98, omer Inury(CRIEP) where ake has hon engagd in fhe resus ower tan Gommuncion potoca an ape nr 36